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Full text of "USA v. Aaron Swartz - Criminal Document #53"

Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 1 of 16 



UNITED STATES DISTRICT COURT 
DISTRICT OF MASSACHUSETTS 



UNITED STATES OF AMERICA 
v. 

AARON SWARTZ, 
Defendant 



Crim. No. 11-CR-10260-NMG 

VIOLATIONS: 

18 U.S.C. § 1343 (Wire Fraud) 

18 U.S.C. § 1030(a)(4),(t>) (Computer Fraud) 

18 U.S.C. § 1030(a)(2), (b), (c)(2)(B)(iii) 
(Unlawfully Obtaining Information from a 
Protected Computer) 

18 U.S.C. § 1030(a)(5)(B), (c)(4)(A)(i)(I),(VI) 
(Recklessly Damaging a Protected Computer) 

18 U.S.C. § 2 (Aiding and Abetting) 

18 U.S.C. § 981(a)(1)(C), 28 U.S.C. § 2461(c), 
18 U.S.C. § 982(a)(2)(B), and 18 U.S.C. § 
1030(i) (Criminal Forfeiture) 



SUPERSEDING INDICTMENT 

The Grand Jury charges that at all relevant times: 

PARTIES 
JSTOR 

1 . JSTOR, founded in 1 995, was and continued to be a United States-based, not-for- 
profit organization that provides an online system for archiving and providing access to academic 
journals and journal articles. It provides searchable digitized copies of articles from over 1,000 
academic journals, dating back for lengthy periods of time. 

2. JSTOR's service is important to research institutions and universities because it 
can be extraordinarily expensive, in terms of both cost and space, for a research or university 
library to maintain a comprehensive collection of academic journals. By digitizing extensive, 
historical collections of journals, JSTOR enables libraries to outsource the journals' storage, 
ensures their preservation, and enables authorized users to conduct full-text, cross-disciplinary 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 2 of 16 

searches of them. JSTOR has invested millions of dollars in obtaining and digitizing the journal 
articles that it makes available as part of its service. 

3. JSTOR generally charges libraries, universities, and publishers a subscription fee 
for access to JSTOR's digitized journals. For a large research university, this annual subscription 
fee for JSTOR's various collections of content can cost more than $50,000. Portions of the 
subscription fees are shared with the journal publishers who hold the original copyrights. In 
addition, JSTOR makes some articles available for individual purchase. 

4. JSTOR authorizes users to download a limited number of journal articles at a 
time. Before being given access to JSTOR's digital archive, each user must agree and 
acknowledge that they cannot download or export content from JSTOR'S computer servers with 
automated computer programs such as web robots, spiders, and scrapers. JSTOR also uses 
computerized measures to prevent users from downloading an unauthorized number of articles 
using automated techniques. 

MIT 

5. The Massachusetts Institute of Technology ("MIT") was and continued to be a 
leading research and teaching university located in Cambridge, Massachusetts. 

6. JSTOR provided MIT with its services and content for a fee. 

7. MIT made JSTOR's services and content available to its students, faculty, and 
employees. MIT also allowed guests of the Institute to have the same access to JSTOR, but 
required guests to register on the MIT network. MIT authorized guests to use its network for no 
more than fourteen days per year, and required all users to use the network to support MIT's 
research, education, and administrative activities, or at least to not interfere with these activities; 
to maintain the system's security and conform to applicable laws, including copyright laws; and 
to conform with rules imposed by any networks to which users connected through MIT's system. 
These rules explicitly notified users that violations could lead to state or federal prosecution. 
Guest users of the MIT network agreed to be bound by the same rules that applied to students, 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 3 of 16 

faculty, and employees. 

8. JSTOR's computers were located outside the Commonwealth of Massachusetts, 
and thus any communications between JSTOR's computers and MIT's computers crossed state 
boundaries. JSTOR's and MIT's computers were also used in and affected interstate and foreign 
commerce. 

Aaron Swartz 

9. Aaron Swartz lived in the District of Massachusetts and was a fellow at Harvard 
University's Safra Center for Ethics. Swartz was not affiliated with MIT as a student, faculty 
member, or employee or in any other manner. Although Harvard provided Swartz access to 
JSTOR's services and archive as needed for his research, Swartz used MIT's computer networks 
to steal millions of articles from JSTOR. 

OVERVIEW OF THE OFFENSES 

1 0. Between September 24, 201 0, and January 6, 201 1 , Swartz contrived to: 

a. break into a restricted-access computer wiring closet at MIT; 

b. access MIT's network without authorization from a switch within that 
closet; 

c. access JSTOR's archive of digitized journal articles through MIT's 
computer network; 

d. use this access to download a substantial portion of JSTOR's total archive 
onto his computers and computer hard drives; 

e. avoid MIT's and JSTOR's efforts to prevent this massive copying, efforts 
that were directed at users generally and at Swartz' s illicit conduct specifically; 
and 

f. elude detection and identification. 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 4 of 16 

MEANS OF COMMITTING THE OFFENSES 

1 1 . Swartz alone, or in knowing concert with others unknown to the Grand Jury, 
(hereafter simply "Swartz" in this section) committed these offenses through the means described 
below. 

September 24 through 27, 2010 

12. On September 24, 20 1 0, Swartz purchased an Acer laptop computer from a local 
computer store. 

13. Later that day, Swartz connected the Acer laptop to MIT's computer network from 
a location in Building 16 at MIT and registered with MIT's computer network as a guest. 

14. When Swartz registered on the network, he took measures to hide his identity as 
the computer's owner and user: 

a. Swartz registered the computer under the fictitious guest name "Gary 
Host." 

b. Swartz specified the computer's client name as "ghost laptop." (A 
computer's client name helps to identify it on a network and can be chosen by its 
user.) In this case, the "ghost" client name abridged the pseudonym "Gary Host" 
by combining the first initial "g" with the last name "host." 

c. Swartz identified the fictitious "Gary Host's" e-mail address as 
"ghost@mailinator.com", a temporary e-mail address. Mailinator advertised itself 
as a free e-mail service that allows a user to create a new temporary-mail address 
as needed. Mailinator advertised that it would accept mail for any e-mail address 
directed to the mailinator.com domain without need for a prior registration or 
account. Mailinator also advertised that all mail sent to mailinator.com would 
automatically be deleted after several hours, whether read or not, and that the 
company kept no logs of e-mail access. 

15. On September 25, 2010, Swartz used the Acer laptop to systematically access and 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 5 of 16 

rapidly download an extraordinary volume of articles from JSTOR by submitting download 
requests faster than a human could type, and in a manner designed to sidestep or confuse 
JSTOR's computerized efforts to restrict the volume of individual users' downloads. 

1 6. The effect of these rapid and massive downloads and download requests was to 
impair computers used by JSTOR to provide articles to client research institutions. 

1 7. As JSTOR, and then MIT, became aware of these events, each took steps to block 
communications to and from Swartz's computer. Swartz, in turn, altered the apparent source of 
his automated demands to sidestep or circumvent JSTOR's and MIT's blocks against his 
computer, as described below: 

a. On the evening of September 25, 201 0, JSTOR terminated Swartz's 
computer's network access by refusing communications from the computer's 
assigned IP address. 

i. An IP (short for "Internet Protocol") address is a unique numeric 

address assigned to each computer connected to the Internet so that the 
computer's incoming and outgoing Internet traffic is directed to the proper 
destination. Most Internet service providers control a range of IP 
addresses. MIT controls all IP addresses that begin with the number 1 8. 
ii. Swartz's computer had been assigned an IP address of 1 8.55.6.21 5. 
iii. On September 25, 2010, JSTOR blocked communications from 
that IP address, thus preventing Swartz from requesting and receiving any 
more JSTOR articles. 

b. On September 26, 20 1 0, Swartz established a new IP address for his 
computer on the MIT network - 18.55.6.216 - which sidestepped the IP address 
block and allowed the laptop to resume downloading an extraordinary volume of 
articles from JSTOR. Accesses from this address continued until the middle of 
the day, when JSTOR spotted the access and blocked communications from this 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 6 of 16 

new IP address as well. 

c. Because the downloads on September 25 and 26 originated from shifting 
MIT IP addresses beginning with 18.55.6, and because JSTOR's computers used 
to provide articles to research institutions had been impaired and significant 
portions of its archive was at risk of misappropriation, on September 26, 2010, 
JSTOR began blocking a broader range of IP addresses. The block prevented a 
researcher assigned any one of over 250 other IP addresses available at MIT from 
being able to access JSTOR's archive until September 29, 2010. 

d. After JSTOR notified MIT what was happening, MIT sought to block 
Swartz in particular. It did so by prohibiting Swartz's laptop from being assigned 
any IP address on MIT's network. MIT did so by blocking communications with 
any computer bearing the laptop's MAC address. 

i. A MAC address is a unique identifier assigned to each computer's 

network interface, in this case, Swartz's Acer laptop's network interface 
card. 

ii. When a user plugs his computer into MIT's wired network on 
campus, the network reads the computer's MAC address to determine 
whether the computer is authorized to use the network. As part of the 
registration process, "Gary Host's" computer, i.e., Swartz's Acer laptop, 
had identified its network interface's MAC address as 00:23 :5a: 73 :5f:fb. 
iii. Consequently, on September 27, 2010, MIT terminated the 
laptop's guest registration and barred any network interface with that 
MAC address from obtaining a new IP address. 

October 2 through 9, 2010 

18. On October 2, 20 1 0, just over a week after JSTOR and MIT had blocked Swartz' s 

Acer laptop from communicating with JSTOR's and MIT's networks, Swartz sought and 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 7 of 16 

obtained another guest connection on MIT's network for his Acer laptop. 

19. Once again, Swartz registered the Acer laptop on the network using identifiers 
chosen to avoid identifying Swartz as the computer's owner and user: 

a. Swartz once again registered the computer under the fictitious name "Gary 
Host" and the client name "ghost laptop." 

b. To evade the MAC address block, Swartz "spoofed" the Acer laptop's 
computer's MAC address. A MAC address is usually assigned to a network 
interface card by the card's manufacturer, and therefore generally remains 
constant. But a user with the right knowledge can change the MAC address, an 
action referred to as "MAC address spoofing." Swartz spoofed the Acer laptop's 
MAC address by changing it from 00:23 :5a:73:5f:fb to 00:23:5a:73:5f:fc (that is, 
the final 'b' became a 'c'). 

c. By re-registering the laptop, the laptop received a new IP address, which 
disassociated Swartz' s Acer laptop from the IP addresses that JSTOR had blocked 
when Swartz had used them in September. 

20. On October 8, 2010, Swartz connected a second computer to MIT's network and 
registered as a guest, using similar naming conventions: Swartz registered the computer under 
the name "Grace Host," the computer client name "ghost macbook," and the temporary e-mail 
address "ghost42@mailinator.com." 

21. On October 9, 20 1 0, Swartz used both the "ghost laptop" and the "ghost 
macbook" to, again, systematically and rapidly access and download articles from JSTOR. The 
pace of Swartz' s automated downloads was so fast and voluminous that it significantly impaired 
the operation of some computers at JSTOR. 

22. In response, beginning on or about October 9, 2010, JSTOR blocked MIT's entire 
computer network from accessing JSTOR. The block lasted several days, again depriving 
legitimate users at MIT from accessing JSTOR' s services. 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 8 of 16 

November and December, 2010 

23. During November and December, 2010, Swartz again used the "ghost laptop" 
(i.e., the Acer laptop) at MIT to download over two million documents from JSTOR, more than 
one hundred times the number of downloads during the same period by all legitimate MIT 
JSTOR users combined. 

24. During this period, when Swartz connected to MIT's computer network, he 
circumvented MIT's guest registration process altogether. Rather than let MIT assign his 
computer an IP address automatically, Swartz instead simply hard- wired into the network and 
assigned himself two IP addresses. He did so by entering a restricted network interface closet in 
the basement of MIT's Building 16, plugging the computer directly into the network, and 
operating the computer to assign itself two IP addresses. To further cloak his activities, Swartz 
also hid the Acer laptop and a succession of external storage drives under a box in the closet, so 
that they would not arouse the suspicions of anyone who might enter the closet. 

January 4 through 6, 2011 

25. On January 4, 201 1 , Swartz entered the restricted basement network wiring closet 
and replaced an external hard drive attached to the laptop. 

26. On January 6, 201 1 , Swartz returned to the wiring closet to remove his computer 
equipment. This time he attempted to evade identification at the entrance to the restricted area. 
Apparently aware of or suspicious of a video camera, as Swartz entered the wiring closet, he held 
his bicycle helmet like a mask to shield his face, looking through ventilation holes in the helmet. 
Swartz then removed his computer equipment from the closet, put it in his backpack, and left, 
again masking his face with the bicycle helmet before peering through a crack in the double 
doors and cautiously stepping out. 

27. Later that day, Swartz connected his Acer laptop to MIT's network in a different 
building — the student center — again registering on the network using identifiers chosen to 
avoid identifying Swartz as the computer's owner and user: 

8 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 9 of 16 

a. Swartz registered the computer under the fictitious name "Grace Host" and 
the client name "ghost laptop." 

b. By re-registering the laptop, the laptop again received a new IP address, 
which disassociated Swartz's Acer laptop from the IP addresses Swartz had used 
up to that point. 

c. To again evade the MAC address block, Swartz had spoofed the Acer 
laptop's MAC address a second time, changing it from the blocked 

00:23 :5a:73:5f:fb (or from the later-spoofed 00:23 :5a:73:5f:fc) to 
00:4c:e5:a0:c7:56. 

28. Swartz's Acer laptop contained a software program named "keepgrabbing.py," 
which was designed to download .pdf files (the format used by JSTOR) from JSTOR and 
sidestep or confuse JSTOR' s computerized efforts to prevent repeated and voluminous 
downloads. 

29. When MIT Police spotted Swartz on the afternoon of January 6, 201 1 and 
attempted to question him, Swartz fled with a USB drive that contained the program 
"keepgrabbing2.py," which was similar to "keepgrabbing.py." 

30. In all, Swartz stole a major portion of the total archive in which JSTOR had 
invested. 

3 1 . Swartz intended to distribute these articles through one or more file-sharing sites. 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 10 of 16 

COUNTS 1 and 2 

Wire Fraud 

18 U.S.C. §§ 1343 & 2 

32. The Grand Jury realleges and incorporates by reference the allegations in 
paragraphs 1-31 of this Indictment. 

33 . Aaron Swartz devised a scheme to defraud JSTOR of a substantial number of 
journal articles which they had invested in collecting, obtaining the rights to distribute, and 
digitizing. 

34. He sought to defraud MIT and JSTOR of rights and property by: 

a. Deceptively making it appear to JSTOR that he was affiliated with MIT by 
downloading JSTOR's articles through MIT's computer network and from MIT IP 
addresses, even though he was not affiliated at the time with MIT, and even 
though for legitimate research he could have accessed JSTOR through Harvard 
University, where he worked; 

b. Repeatedly taking steps to change his and his computer's apparent 
identities and to conceal his and his computer's true identities; 

c. Using a rapid, automated collection software tool designed to make it 
appear as if he were multiple people making single requests rather than a single 
person making multiple requests, in order to bypass safeguards designed to limit 
the number of articles any one person could download; 

d. Attempting to conceal from MIT the physical location of the Acer laptop's 
connection to MIT's network, by placing it in a utility closet, covering it with 
cardboard, and, at one point, moving it from one MIT building to another; and 

e. Using wire communications between a MIT computer in Massachusetts 
and JSTOR's computer out-of-state to effectuate his scheme. 

35. The Grand Jury charges that repeatedly from on or about September 24, 201 
through January 6, 201 1, or thereabout, in the District of Massachusetts and elsewhere, the 

10 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 11 of 16 

defendant, 

AARON SWARTZ, 

having devised and intended to devise a scheme and artifice to defraud and for obtaining property 
— journal articles digitized and distributed by JSTOR, and copies of them — by means of 
material false and fraudulent pretenses and representations, transmitted and caused to be 
transmitted by means of wire communication in interstate commerce writings, signs, and signals 
— that is, communications to and from JSTOR' s computer servers — for the purpose of 
executing the scheme, and aiding and abetting it, including on or about the dates specified below: 



COUNT 


DATES 


1 


October 9, 2010 


2 


January 4-6, 2011 



All in violation of Title 18, United States Code, Sections 1343 and 2. 



11 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 12 of 16 

COUNTS 3-7 

Computer Fraud 

18 U.S.C. §§ 1030(a)(4), (b) & 2 

36. The Grand Jury realleges and incorporates by reference the allegations in 
paragraphs 1-31 and 33-34 of this Indictment and charges that: 

37. Repeatedly between on or about September 26, 2010 and January 6, 201 1, 
including on or about the dates specified below, in the District of Massachusetts and elsewhere, 
the defendant, 

AARON SWARTZ, 
knowingly and with intent to defraud, accessed protected computers belonging to MIT and 
JSTOR without authorization, and by means of such conduct furthered the intended fraud and 
obtained things of value — namely, digitized journal articles from JSTOR's archive — and aided 
and abetted the same and attempted to do the same: 



COUNT 


DATES 


PROTECTED COMPUTERS 


3 


September 26, 2010 


JSTOR 


4 


October 2-9, 2010 


MIT 


5 


November 29, 2010 - December 26, 2010 


JSTOR 


6 


December 27, 2010 - January 4, 201 1 


JSTOR 


7 


January 4-6, 2011 


MIT 



All in violation of Title 18, United States Code, Sections 1030(a)(4) and 2. 



12 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 13 of 16 

COUNT 8-12 

Unlawfully Obtaining Information from a Protected Computer 

18 U.S.C. §§ 1030(a)(2), (b), (c)(2)(B)(iii) & 2 

38. The Grand Jury realleges and incorporates by reference the allegations in 
paragraphs 1-31 and 33-34 of this Indictment and charges that: 

39. Repeatedly between September 26, 20 1 and January 6, 20 1 1 , including on or 
about the dates specified below, in the District of Massachusetts and elsewhere, the defendant, 

AARON SWARTZ, 
intentionally accessed computers belonging to MIT and JSTOR without authorization, and 
thereby obtained from protected computers information whose value exceeded $5,000 — 
namely, digitized journal articles from JSTOR' s archive — and aided and abetted the same and 
attempted to do the same. 



COUNT 


DATES 


PROTECTED COMPUTERS 


8 


September 26, 2010 


JSTOR 


9 


October 2-9, 2010 


MIT 


10 


November 29, 2010 - December 26, 2010 


JSTOR 


11 


December 27, 2010 - January 4, 201 1 


JSTOR 


12 


January 4-6, 2011 


MIT 



All in violation of 18 U.S.C. §§ 1030(a)(2), (c)(2)(B)(iii) and 2. 



13 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 14 of 16 

COUNT 13 

Recklessly Damaging a Protected Computer 

18 U.S.C. §§ 1030(a)(5)(B), (c)(4)(A)(i)(I),(VI) & 2 

40. The Grand Jury realleges and incorporates by reference the allegations in 
paragraphs 1-31 and 33-34 of this Indictment. 

4 1 . Aaron Swartz' s repeated accessing of JSTOR' s and MIT' s computer systems 
without authorization constituted a related course of conduct lasting from on or about September 
26, 2010 through January 6, 201 1 . His unauthorized access of the systems on or about days such 
as September 26 and October 9, 2010 resulted in reckless damage to both. The pace and volume 
of his automated requests impaired computers JSTOR used to provide service to researchers and 
research institutions and caused JSTOR to cut off legitimate MIT researchers for days at a time. 

42. Both MIT and JSTOR were required to expend significant resources to respond to 
Swartz' s unlawful access to their systems and high speed automated downloads of substantial 
portions of JSTOR's digital archives. 

43. The Grand Jury charges that on or about October 9, 201 in the District of 
Massachusetts and elsewhere, the defendant, 

AARON SWARTZ, 
intentionally accessed a protected computer without authorization, and as a result of such 
conduct recklessly caused damage to MIT and JSTOR, that is impairment to the availability of 
information, data, and a system, which, during a one year period: 

(A) caused loss, that is, reasonable costs of responding to the offense, conducting a 
damage assessment, and restoring the information, data, and system to its 
condition prior to the offense, aggregating at least $5,000 in value from a related 
course of conduct affecting at least one other protected computer, and 

(B) damage affecting at least 1 protected computers. 

All in violation of Title 18, United States Code, Section 1030(a)(5)(B), 
(c)(4)(A)(i)(I),(VI)&2. 

14 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 15 of 16 

FORFEITURE ALLEGATIONS 
(18 U.S.C. § 981(a)(1)(C), 28 U.S.C. § 2461(c), 18 U.S.C. § 982(a)(2)(B), and 18 U.S.C. § 

1030(i)) 

44. Upon conviction of one or more of the offenses alleged in Counts One and Two of 
the Indictment, the defendant, 

AARON SWARTZ, 
shall forfeit to the United States, pursuant to 18 U.S.C. § 981(a)(1)(C) and 28 U.S.C. § 2461(c), 
any property, real or personal, that constitutes, or is derived from, proceeds traceable to the 
commission of the offense. 

45. Upon conviction of one or more of the offenses alleged in Counts Three through 
Thirteen of the Indictment, the defendant, 

AARON SWARTZ, 
shall forfeit to the United States, pursuant to 18 U.S.C. § 982(a)(2)(B) and 18 U.S.C. § 1030(i) 
any property constituting, or derived from, proceeds obtained directly or indirectly as a result of 
the commission of the offenses, and pursuant to 18 U.S.C. § 1030(i) any personal property that 
was used or intended to be used to commit or facilitate the commission of such violations. 

46. If any of the property described in paragraphs 44 and 45 hereof as being 
forfeitable pursuant to 18 U.S.C. § 981(a)(1)(C), 28 U.S.C. § 2461(c), 18 U.S.C. § 982(a)(2)(B), 
and 18 U.S.C. § 1030(i) as a result of any act or omission of the defendant — 

a. cannot be located upon the exercise of due diligence; 

b. has been transferred to, sold to, or deposited with a third party; 

c. has been placed beyond the jurisdiction of this Court; 

d. has been substantially diminished in value; or 

e. has been commingled with other property which cannot be divided without 
difficulty; 

it is the intention of the United States, pursuant to 21 U.S.C. § 853(p), as incorporated by 28 
U.S.C. § 2461(c), 18 U.S.C. § 982(b)(1), and 18 U.S.C. § 1030(i)(2), to seek forfeiture of all 

15 



Case l:ll-cr-10260-NMG Document 53 Filed 09/12/12 Page 16 of 16 

other property of the defendant up to the value of the property described in paragraphs 44 and 45 
above. 

All pursuant to Title 18, United States Code, Sections 981(a)(1)(C), 982(a)(2)(B), and 
1030(i), and Title 28, United States Code, Section 2461(c). 




Assistant United States Attorney 



A TRUE BILL 



foreperson of the Grand Jury 7\ 



Forep 
Date: y- /b)- {<9 



DISTRICT OF MASSACHUSETTS 

September 12,2012 

Returned into the District Court by the Grand Jurors and filed. 



Deputy Clerk 



\um> ■ e \l\^l\ / u 



16 



Case l:ll-cr-10260-NMG Document 53-1 Filed 09/12/12 Page 1 of 2 

%JS 45 (5/97) - (Revised U.S.D.C. MA 3/25/201 1) a 

Criminal Case Cover Sheet U.S. District Court - District of Massachusetts 

Place of Offense: Category No. J] Investigating Agency Secret Sevice 

City Cambridge Related Case Information: 

County Middlesex Superseding Ind./ Inf. Superseding Ind. CaseNo 11-CR-10260-NMG 

Same Defendant ^ New Defendant 

Magistrate Judge Case Number 



Search Warrant Case Number see Additional information Beiow 
R 20/R 40 from District of 



Defendant Information: 

Defendant Name Aaron Swartz Juvenile: Q Yes [/] No 



Alias Name 


Is this person an attorney and/or a member of any state/federal bar: 


□ Yes 





No 


Address 


fCitv & Stated 


Cambridge, MA 












B 


Birth date (Yr only): ^6 SSN (lastfg): 1 374 Sex M 

Defense Counsel if known: Martin Weinberg, Esq. 


Race: 


w 

Address 


Nationality: USA 

20 Park Plaza 





Bar Number Suite 1QQQ 



¥T<S A „ ¥ , Boston, MA 02116 

U.S. Attorney Information: 

AUSA Stephen P. Heymann & Scott L. Garland B ar Number if applicable 558486 & 650358 
Interpreter: j_J Yes No List language and/or dialect: 



Victims: [7]Yes | | No If yes, are there multiple crime victims under 18 USC§3771(dX2) [/] Yes QNo 

Matter to be SEALED: □ Yes [7] No 

I Iwarrant Requested [/] Regular Process Q] In Custody 



Location Status: 
Arrest Date 



j"~| Already in Federal Custody as of in 

I [Already in State Custody at [~~]Serving Sentence [~[\ waiting Trial 

\7\ On Pretrial Release: Ordered by: Magistrate Judge Dein on 7/19/11 



Charging Document: \_\ Complaint \_\ Information [/| Indictment 

■lO 

Total # of Counts: Q Petty I I Misdemeanor [7] Felony 



Continue on Page 2 for Entry of U.S.C. Citations 

[/] I hereby certify that the case numbers of any prior proceedings before a Magistrate Judge are 
accurately set forth above. 

Date: September 12, 2012 Signature of AUSA: 




Case l:ll-cr-10260-NMG Document 53-1 Filed 09/12/12 Page 2 of 2 

JS 45 (5/97) (Revised U.S.D.C. MA 12/7/05) Page 2 of 2 or Reverse 



District Court Case Number (To be filled in by deputy clerk): 
Name of Defendant Aaron SwartZ 



Setl 



Set 2 



Set 3 



Set 4 



Set 5 



Set 6 



Index Kev/Code 

18 USC 1343 



U.S.C. Citations 
Description of Offense Charged 

Wire Fraud 



18 use 1030(a)(4) Computer Fraud 



18 USC 981. 982, 1030 & 28 USC 2461 



18 USC 2 



Forfeiture 



Aiding and Abetting 



Count Numbers 



1-2 



3-7 



1 8 USC 1 030(a)(2) Theft of Information From a Computer 8-12 



18 usc 1030(a)(5)(B) Recklessly Damaging a Computer 1 3 



1-13 



Set 7 



Set 8 
Set 9 



Set 10 



Set 11 
Set 12 



Set 13 



Set 14 



Set 15 



ADDITIONAL INFORMATION: 



Search Warrant Case Numbers: 11m-5013-JGD;11m-5014-JGD 



11m-5015-JGD; 11m-5031-JGD; 11m-5061-JGD; 11m-5062-JGD; 1 1 m-5063-JGD; and 

11m-5143-JGP 

Seizure Warrant Case Number: 1 1 m-51 38-JGD 

crjs-45-MA201 1 wpd - 3/25/201 1